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CHAPTER THREE
Human Resources
Management: Policies and Procedures
CHAPTER OUTLINE
HR Policies and Procedures Activities Policy and Procedure Development Areas of Policy and Procedure Development Steps in HR Policy and Procedure Development Review for Legal Compliance
Applying Advanced Technology to HR Policies and Procedures Information Dissemination
Information Storage
HR Policies and Procedures Documentation and Record Keeping Human Resources Terms
For Your Consideration
Case Study: Human Resources Management in Action Internet Activities
CHECKLIST OF CHAPTER LEARNING OBJECTIVES
As a result of satisfactory completion of this chapter, readers will be able to:
1. Recognize and describe the difference between the HR policies and HR proce- dures utilized by employers.
2. Identify the steps managers use to develop HR management policies and procedures.
3. Understand the importance of seeking legal counsel and/or review prior to implementing HR policies and procedures.
4. Recognize and appreciate the role advanced technology is currently playing, and will continue to play, in the process of HR - related policy and procedure development.
5. Recognize the most significant reasons why HR managers must develop, imple- ment, and maintain effective HR recordkeeping systems.
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HR Policy and Procedures Activities
1. Recognize and describe the difference between the HR policies and HR procedures utilized by employers.
POLICY AND PROCEDURE DEVELOPMENT
As you have learned, the responsibilities for HR management issues may lie with unit - level managers (in smaller properties) or full - time specialists (in larger hospi- tality organizations). Assume you have taken a position in which you are ulti- mately responsible for the HR management issues related to the operation of a newly constructed 45,000 - square - foot water park with an attached 400 - room hotel and supporting foodservice operations. The facility will ultimately employ more than 300 full - and part - time staff members. Assume also that the facility has yet to open. In such a situation, you will soon be required to make decisions about many employee - related issues and policies. The policies you design must address many topics. Just a few examples include:
1. Employee selection criteria
2. The accumulation and use of employees ’ vacation time 3. Dress and uniform codes
4. Attendance and tardiness 5. Performance evaluation 6. Termination
Impact on Human Resources Management
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ust as culinarians in the hospitality industry know that standardized recipes will help them turn out a quality menu item every time the recipe is followed, those managers working in the HR field recognize that consistency in their own policy- related actions is critical to the smooth operation of their units.Employees and managers alike want to know that all of the policies and proce- dures applied to them at work will also be applied, in the same manner, to each of their coworkers. If they do not believe this is true, charges of bias, favoritism, crony- ism, sexism, and even racism can result. Therefore, experienced HR managers know they must (1) carefully design and implement any operating policies they wish to utilize, and (2) reliably document their fair and consistent application of those policies.
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HR Policy and Procedures Activities 65
The actual procedures you will use to operate your own department must also be developed. These procedures would likely address a variety of issues related to the policies you developed, such as:
1. Who is responsible for selecting employees?
2. How is employee vacation time accrued and recorded?
3. What are the penalties for dress code violations?
4. Who will record employee absences and tardiness?
5. How frequently will employee performance reviews be undertaken? Who will do them?
6. What written documentation will be required in cases of employee
termination?
Note that there is an important relationship between what your business will do (its HR policies ) and exactly how you will do it (its HR procedures ).
Consider the HR policy and procedure examples presented in the water park example. Figure 3.1 shows some ways in which these example policies and proce- dures are related to each other. For purposes of this chapter, the term “ policy ” will be used to refer to what a business operation has determined it should do, while the term “ procedure ” will refer to how it will do it. These procedures may spell out rewards for policy compliance, penalties for noncompliance, and steps required for policy implementation. In most cases, a single policy will require multiple sup- porting procedures. Some examples of the specific procedures required to support operation policies are illustrated in Figure 3.1 .
In some cases, the line between what businesses do and how they do it can be a fine one. However, it is important to remember that, to be effective, HR policies must be supported by procedures that, when followed, ensure the fair and consis- tent application of the policy.
HR policy(ies):
A course of action selected from alternatives and designed to guide future decision making.
HR procedures:
The methods or steps used to effectively develop and apply HR policies.
HR policy(ies):
A course of action selected from alternatives and designed to guide future decision making.
HR procedures:
The methods or steps used to effectively develop and apply HR policies.
Policies: What We Will Do Procedures: How We Will Do It
1. Select employees 1. Use standardized application forms.
2. Grant employees paid vacation 2. Record accrued vacation time biweekly.
3. Implement employee dress codes 3. Impose consistent penalties for noncompliance.
4. Monitor attendance and tardiness 4. Record employee arrival and departure times daily.
5. Conduct performance evaluations 5. Schedule annual employee reviews and designate the reviewers.
6. Terminate employees 6. Develop standards for documenting (in writing) employee terminations.
FIGURE 3.1: HR Policy and Procedure Relationship
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ENGLISH-ONLY OR SOLO INGLES?
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an a U.S. employer mandate that English is the only language that may be spo- ken in the workplace? The EEOC recently (2006) announced that it settled a lawsuit against a New York City hotel. The hotel was accused of discriminating against 13 Hispanic employees and ultimately forcing them to resign for speaking Spanish in the workplace. The settlement was $800,000. In addition, the hotel agreed that:It is prohibited from maintaining an English-only rule for its employees.
It will train its managers and employees in equal employment law.
It will regularly report to the EEOC about any new discrimination complaints it receives.
It will require its senior vice president to undergo three hours of one-on-one training, which must be reviewed and approved by the EEOC. At a minimum, the training will address the topics of discrimination, retaliation, harassment, diversity, and sensitivity.
Discrimination on the basis of “national origin” is clearly prohibited by Title VII of the Civil Rights Act of 1964 (see Chapter 2). Those employers considering the adoption of an “English-only” at-work policy must be ready to face healthy skepticism on the part of the EEOC. In most cases, a rule requiring employees to speak only English at all times in the workplace will be presumed to violate Title VII and will be closely scrutinized by the EEOC.
An employer may have a rule requiring that employees speak only English at certain times where the employer can show that the rule is justified by business necessity. For example, a server taking an order from diners who speak only English can be required to speak English. If the employer believes the English-only rule is critical for business purposes, employees should be told, in advance (and in writing!), when they are required to speak only English and the consequences of violating the rule. If the company does not do so, its English-only policy will likely be deemed discriminatory if it is challenged.
A better HR policy for hospitality managers may well be the subsidized support of on-site English as a Second Language (ESL) courses for those employees who need and want to improve their English skills. An ESL policy, demonstrating real support for staff needs, sends the right signal to workers, guests, and the community.
Not only is it the smart thing to do, it’s the right thing to do.
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Human Resources Management:
CURRENT EVENTS 3.1
1
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HR Policy and Procedures Activities 67
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n Chapter 2, you learned about employment laws that affect some of the policies that businesses are, and are not, allowed to implement. Can a business organiza- tion that has developed and implemented a perfectly legal employment policy still be sued because of the policy, and ultimately lose the case? Absolutely. It happens all the time when the procedures the managers used to support the policy were flawed, deficient, or both.A policy or action that is perfectly legal must still be applied in a legally coherent (fair) manner, or the courts will simply not support its use. For exam- ple, can a hotel, restaurant, casino, or other hospitality operation lay off or terminate employees because of declining sales? In most situations, clearly it can.
However, consider the recent real case of an organization that elected to lay off six employees, of whom five were African-American women and one was a Caucasian man.
The women were called into the manager’s office and informed they were being laid off effective immediately. They were told to collect their belongings and leave within 30 minutes. In full view of their coworkers, managers monitored them as they cleaned out their lockers. The monitoring was such that coworkers thought they were being observed to prevent stealing. They did not have an opportunity to say goodbye to their coworkers, some of whom cried because they would miss them and felt badly for them.
This was in stark contrast to the treatment the white male received upon his termination. He was given a month’s advance notice of his layoff. He was allowed to come to the operation at his convenience to receive his termination notice. He was not monitored as he cleaned out his work area, and he was permitted to walk around the building freely to say goodbye to his coworkers. In this case, the Court of Appeals held that the manner in which the layoff was conducted was discriminatory, and the women won their case. They should have.
Despite some popular misconceptions, employers in the United States still enjoy a tremendous amount of freedom (more than in many other economically advanced countries) regarding how they operate their businesses. Can employees be laid off or terminated when business warrants it? Yes, they can. Can an employer (as in this case) do it so poorly that the courts will refuse to support it and, in fact, punish the employer? Yes. Terminations and layoffs are emotional situations in the best of times. Managers must conduct them professionally and with respect.
The number-one rule to prevent claims of discrimination related to terminations and layoffs is simple: “be fair and be consistent”! That rule is a good one to apply to all of your HR policies and procedures.
IT'S THE LAW!
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AREAS OF POLICY AND PROCEDURE DEVELOPMENT
Not all of a hospitality operation ’ s policies and procedures relate to HR. To continue our example of the HR manager of a water park resort, many issues would not be under your control. How frequently the pools ’ filters are cleaned, the proper number of cloth napkins to regularly be held in the food and bever- age inventory, and the establishment of the ideal selling price of guest rooms on a given weekend are not decisions made by the HR manager. HR policy and procedure development will, however, have a direct effect on all areas of the resort, as they will on all areas of any other hospitality operation. As experi- enced managers know, it is not possible to identify all of the subjects within every hospitality operation that require written policies and procedures. Clearly, the policy and procedures needs of a large, multinational hospitality organiza- tion will be very different from the needs of a small, independently owned sandwich shop.
Despite differences in size and need, all hospitality organizations undertake HR - related activities that can be readily identified. There are a variety of ways to classify these activities and the policy and procedure making related to them.
Figure 3.2 lists one way to categorize the areas of policy and procedure responsibility
Assigned Area/Activity Requires Policies and Procedures Related To
Staffing the Organization Operational planning and needs analysis Recruiting
Interviewing Selecting
Developing Staff Employee orientation
Training
Employee development and career planning Managing and implementing organizational change
Motivating Staff Job design
Employee evaluation
Compensation
Employee benefits
Employee recognition
Maintaining Staff Employee health
Employee safety
Employee-related organizational communications
FIGURE 3.2: HR Policy and Procedure Development Areas and Activities
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HR Policy and Procedures Activities 69
commonly assigned to the HR function. It categorizes the areas of HR policy and procedure development as related to:
Staffing the organization Developing staff
Motivating staff Maintaining staff
As you read about the following tasks normally assigned to those responsible for HR management, consider the policies and procedures development and implementation efforts needed to address these tasks.
Staffing the Organization
The recruitment and selection of employees is probably the area that most hospi- tality managers think of first when they consider the work of the HR department or the HR manager. Prior to recruiting and selecting employees, however, the HR manager must carefully assess the operation ’ s needs. If, for example, the execu- tive chef of a large convention hotel informs the HR department that an additional chef is needed, the specific skills of that needed individual must be identified.
Clearly, if the skills of a garde - manger are sought by the executive chef, the recruit- ment and selection of a patissier or saucier , regardless of their ability and skill level, will be inappropriate.
In nonhotel operations, but in much the same manner as the previous exam- ple, before employees can be recruited, their skill requirements must be established.
As a result, even at the smallest of local restaurants, the manager of the operation must still identify the specific skills, knowledge, and abilities of the employees needed by the restaurant. Additionally, it is important to recall that the specific requirements of current labor law mandate that managers thoroughly understand the specific skills required for the jobs they advertise. Identifying and documenting those specific skill sets effectively helps limit the potential legal liability that could be incurred if particular groups of employees are ultimately excluded from the search process. Excluding potential employees on the basis of identified and legiti- mately required job skills is legal, whereas excluding potential candidates for non - job - related reasons is typically illegal.
After the most critical characteristics related to a job ’ s successful candidates have been carefully identified (see Chapter 6 , “ Position Analysis ” discussion), the two most important staffing - related tasks facing the HR manager are:
Ensuring an adequate pool of qualified applicants to maximize the operation ’ s chances to hire an outstanding candidate
Providing enough job information to discourage unqualified job applicants to help prevent the organization from wasting time and resources in the inter- viewing process
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Garde-manger:
Pantry chef.
Responsible for cold food production, including salads, salad dressings, cold appetizers, charcute- rie items, terrines, and similar dishes.
Patissier: Pastry chef. Responsible for all baked items, including breads, pastries, and desserts.
Saucier: Sauté station chef.
Responsible for all sautéed items, including most sauces.
Garde-manger:
Pantry chef.
Responsible for cold food production, including salads, salad dressings, cold appetizers, charcute- rie items, terrines, and similar dishes.
Patissier: Pastry chef. Responsible for all baked items, including breads, pastries, and desserts.
Saucier: Sauté station chef.
Responsible for all sautéed items, including most sauces.
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The policies and procedures related to employee recruitment and selection are among some of the most important to any organization. In Chapter 4 , you will learn how hospitality managers develop policies that help ensure fair hiring practices.
After an adequate number of qualified candidates has been identified, it is the HR manager ’ s job to refer those candidates to the individual who will make the hiring decision (typically in large organizations) or to make the actual selec- tion (in most small organizations). In both situations, candidate testing and/or other assessment steps may precede the actual job offer.
Identifying qualified candidates and offering positions to them is only a part of the professional HR manager ’ s job because, in a tight labor market, qualified and talented applicants are very likely to be sought by a variety of organizations.
Therefore, the HR manager must also encourage the desired candidate to ulti- mately accept the position. To do this, the HR manager will typically provide the candidate with a good deal of job - related and organization - related information.
Topics such as organizational culture, growth plans, and performance expectations are all notable areas that could influence an individual ’ s acceptance decision, and these should be fully discussed with the candidate. Information related to these subjects should be accurate and help the candidate make an appropriate career decision that is best for the candidate and the hospitality organization.
Developing Staff
After new employees are selected, orienting these new employees to the organi- zation becomes an important HR function. Even experienced employees who need little or virtually no skill training will still need to learn much about their new employer. Information about items such as organizational rules, regulations, and goals of the organization, department, and work unit will need to be com- municated. Procedurally, questions of who will do the orientation, when it will occur, and what specific topics will be addressed are all HR policy and/or procedure issues.
In some cases, employees may be qualified for the job they have secured but will require facility - specific skill training. For example, even housekeepers with many years of experience cleaning rooms will likely still need to be shown “ how we do it here ” when they begin work with a new employer. Minor variations in house- keeping procedures, such as the preferred manner of folding terrycloth items (for guest room towels, hand towels, washcloths, and the like) must be taught. In a similar manner, even experienced service staff, if newly hired, will likely need to be instructed on a restaurant ’ s specific table setting, order taking, guest check record- ing, order pickup, food delivery, and check presentation procedures.
As an employee ’ s career within an organization progresses, that employee may need to acquire new skills. In many cases, changes in the employee ’ s work unit or in the goals and needs of the organization may dictate that additional training is needed. It is also important to remember that many employees hope to advance
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HR Policy and Procedures Activities 71
within their employing organization. The HR manager should provide those employees, to the greatest degree possible, with opportunities to do so. This may take the form of providing employees with advanced skills training related to their present jobs, training in jobs they may hold in the future, or cross - training employees in new skills to prepare them for different jobs.
The best of HR managers, whether serving the dual role of unit manager or heading a large HR department, know that planning for the future staffing needs of their organization is an ongoing process. The competitive nature of the hospi- tality industry requires that most organizations have the ability to rapidly add products (such as new menu items) or services (such as those related to providing guests wireless Internet access in hotel rooms) that directly impact that organiza- tion ’ s employees. Newly added menu items will likely require additional food pro- duction skills training. Adding the feature of wireless Internet access to a hotel ’ s guest rooms will likely require that one or more hotel employees receive additional training in computer - related technology. Regardless of the individual within the organization who will actually do the training, it remains the HR manager ’ s role to ensure that the training is provided and to develop the legally defensible policies and procedures required to do so.
Motivating Staff
The task of motivating employees to do their best is one of the most studied, talked about, and debated of all HR - related topics. The question of how to moti- vate employees to do their best (or even if it is possible for management to do so) will continue to be discussed. However, one helpful way to consider the role of HR managers in policy and procedure development related to employee motivation is to consider two factors that are commonly agreed to affect worker motivation.
These are an employee ’ s:
Ability to do a job Willingness to do a job
The ability of an employee to effectively do the job is affected by the employ- ee ’ s skill level, the availability of effective training, and the worker ’ s access to the tools or information needed to properly complete assigned tasks.
The willingness of employees to work efficiently has long been the subject of study by motivational theorists. Figure 3.3 briefly summarizes five of the most popular and widely discussed theories of employee motivation. Interested manag- ers will be able to readily find additional information about each of these views of employee motivation via a basic Internet search ( google.com ). Regardless of the motivational philosophy adopted by a manager or a hospitality organization, ade- quate policies and procedures related to its implementation will be crucial to motivating employees.
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Motivational Theorist Motivational Theory Theory Synopsis
1. Abraham Maslow Needs Hierarchy Assumes needs are arranged in a hierarchy and that some needs are more powerful than others. Workers seek to satisfy their needs in the following order:
1. Physiological (first) 2. Safety
3. Love/Belonging 4. Esteem
5. Actualization (last)
The first four layers of Maslow’s
“pyramid” are called “deficiency needs” or
“D-needs,” because the individual does not feel anything if they are met, but feels anxious if they are not met.
2. Douglas McGregor Theory X and Theory Y States that managers tend to hold and act on one of two basic views (theories) about workers.
Theory X assumptions are that:
1. The average person dislikes work and will avoid it if he or she can.
2. Most people must be forced with the threat of punishment to work toward an organization’s objectives.
3. The average person prefers to be directed, to avoid responsibility, is relatively unambitious, and wants security above all else.
Theory Y assumptions are that:
1. Effort in work is as natural as work and play.
2. People will apply self-control and self-direction in the pursuit of organizational objectives, without external control or the threat of punishment.
3. Commitment to objectives is a function of the rewards associated with their achievement.
FIGURE 3.3: Motivational Theorists, Theories, and Theory Synopsis
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HR Policy and Procedures Activities 73
3. Frederick Herzberg Motivation/ Hygiene Theory Identifies two separate groups of factors affecting motivation. “Hygiene factors”
cause feelings of dissatisfaction among employees. They include working conditions, pay, and job security. These do not motivate, but their absence adversely affects job performance.
“Motivation factors,” including concerns such as achievement, learning, and advancement, play a major role in positively influencing performance.
Workforce motivation is not possible if hygiene factors are deficient.
4. David McClelland Three-Need (achievement, affiliation, and power) Theory
States that workers have needs for achievement, affiliation, and power, each of which must be satisfied if they are to be motivated. The theory suggests that these three needs are found to varying degrees in all workers and managers. It also indicates that this mix of
motivational needs characterizes an individual’s management style in terms of being motivated, as well as in the management and motivation of others.
5. Victor Vroom Expectancy Theory Proposes that a worker’s motivation is primarily influenced by the “expectation”
that additional effort will lead to additional organizational rewards. If this expectation is not met, influencing an employee’s motivation in a positive way will not be possible.
FIGURE 3.3: (Continued)
Maintaining Staff
Even the best of work teams require regular maintenance and care. Policies and procedures related to the maintenance of employees include those that help encourage quality workers to stay with the organization. Major areas of concern include worker health and safety, as well as the development and implementation of Employee Assistance Programs (EAPs) .
Additional areas of staff maintenance concern relate to communication efforts designed to keep employees informed about the work - related issues that are important to them. Other policies may identify opportunities for employees to
Employee Assis- tance Program: The term used to describe a variety of employer-initiated efforts to assist employees in the areas of family concerns, legal issues, financial matters, and health maintenance.
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have their voices heard by management. Staff meetings, bulletin boards, newsletters, and suggestion boxes are common examples of devices employers routinely use to encourage information exchange.
Now that you are familiar with many common areas in which HR managers develop polices and procedures, it is important for you to also know the process these managers use to properly develop and implement them.
Steps in HR Policy and Procedures Development
2. Identify the steps managers use to develop HR management policies and procedures.
It is generally a poor practice to make HR - related decisions based on momentary operational needs. Consider the case of the dining room manager who, because he
Human Resources MANAGEMENT ISSUES (3.1)
“B
ut, Larry, I just can’t work on Sunday,” said Shingi, a room attendant at the 800-room Courtplace Hotel.Larry, the executive housekeeper, had just told Shingi that a storm in the area had delayed flights out of the regional airport and that a group that had been sched- uled to leave the hotel on Sunday morning was now staying until Monday morning.
The result was an additional 110 stayover rooms to clean Sunday, and Larry was hurriedly attempting to add eight housekeepers to the employee schedule.
“Why can’t you work on Sunday?” Larry asked. Then, before Shingi could answer, he added, “You know when we hired you, we told you that our business can be unpredictable, and that all employees’ work schedules are subject to change.”
“I know,” replied Shingi, “and I’d work if I could, Larry, because I really need this job. However, after you posted the schedule last week and I saw I was off Sunday, I told my boss it was okay to schedule me at my other job. They always work around my schedule here, but I know I’ll get fired if I don’t go in, and I need that job too.
I’m sorry, I just can’t work Sunday.”
1. Many employees in the hospitality industry hold more than one job. What are some reasons why they do so?
2. How can Larry determine if the situation in his hotel warrants a “second job” (or moonlighting) policy?
3. As an HR specialist, what specific issues would you advise Larry to consider as he developed and implemented his policy?
3
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Steps in HR Policy and Procedures Development 75
was rushed and harried during a busy dinner period, “ fires ” an employee (busser) who (the manager feels) violated the dress code because the busser ’ s shirt was untucked while clearing tables. In this case, the busser ’ s shirt was indeed untucked.
Therefore, it might seem the dining room manager ’ s actions were reasonable.
Experienced managers advising this dining room manager would likely, however, first ask a few relevant questions, such as:
1. Was the employee ever informed of the restaurant ’ s “ no untucked shirts ” pol- icy? Is that requirement specifically listed within the restaurant ’ s dress code?
2. Is there written evidence that the employee received and understood (in his own native language) this specific policy?
3. How long has the employee been with the organization?
4. Is this the employee ’ s first dress code policy violation?
5. Was the employee given a reasonable chance to explain the circumstances leading to his violation of the policy?
6. Have, in the past, all employees found to be in similar violation of this same policy been fired immediately? If not, what was the rationale for the firing of this specific employee?
7. Under the laws of the state in which the restaurant is located, will the employee likely qualify to receive unemployment compensation in this case?
8. Are the restaurant ’ s employees unionized? If so, is the termination allowed under the terms of the union contract? Is the restaurant part of a chain? If so, was the termination consistent with the action that has, in the past, been taken by other dining room managers working within the chain?
When managers carefully develop and implement HR-related poli- cies, the risk of expensive and time-consuming HR-related litiga- tion is greatly reduced.
Courtesy PhotoDisc/Getty Images
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9. Has, in the past, this manager ever been accused, successfully or unsuccess- fully, of discrimination in the hiring or firing of the restaurant ’ s employees?
10. Given the circumstances of this incident, what message did the dining room man- ager seek to send to the restaurant ’ s remaining employees? Does the manager feel that the message sent will help or harm the restaurant ’ s long - term HR efforts?
FIGURE 3.4: Six - Step Policy and Procedure Development Process
Step Rationale
1. Identify the HR issue to be addressed. Policies and procedures typically are developed to address an important issue, establish a standard, or solve an identifiable problem.
2. Consider on-site factors affecting implementation.
Internal factors directly affecting the
development of the policy or procedures are considered next. Examples include items such as the existence of a union contract, the objectives management seeks to achieve, and the time frame required for implementation.
3. Consider off-site factors affecting implementation.
Off-site factors that may need to be considered in the policy and procedure development process include overriding chain or franchise policies, local labor-related legislation, and competitor policies.
4. Draft policy and procedures and submit for (legal) review.
After a policy and the procedures required to implement it have been drafted, it is always a good idea to have the draft examined by a qualified legal expert. This step is important in helping to reduce potential litigation directly related to the policy.
5. Develop related documentation and recordkeeping requirements.
After a legal review has been undertaken and completed, managers will develop the
recordkeeping procedures needed to ensure the consistent application of the policy, as well as the ability to prove it has indeed been applied consistently.
6. Communicate finalized policy and procedures to affected parties.
HR policies and procedures that have not been adequately communicated to those affected are difficult or may even be impossible to enforce.
The final step in policy development and implementation is the policy’s clear and timely communication to all affected parties, as well as the documentation of that communication.
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Review for Legal Compliance 77
As you can readily see from these questions, management is, in most cases, generally given broad powers to hire and terminate employees. However, today ’ s legal environment, as well as the basic concept of fairness and quality employee relations, mandate that operators should carefully follow policies that they have thoughtfully developed when managing HR issues.
To help minimize the negative consequences that can be associated with improperly developing or applying HR policies, experienced managers should establish a basic policy and procedure development process. While this process will vary based on the size and type of hospitality operation involved, most will follow a series of important steps designed to ensure that only an appropriate development approach is utilized. These steps are shown in Figure 3.4 .
In some cases, HR managers can save time by purchasing prewritten policies and procedures that can be utilized as is or modified to apply to their own opera- tions (as well as disseminated to affected employees). To see an example of one such product, go to www.policytech.com .
Review for Legal Compliance
3. Understand the importance of seeking legal counsel and/or review prior to implementing HR policies and procedures.
Earlier in this chapter, you learned that a legal review was an important step in the policy and procedure development process. The reason why this step is critical for managers is readily apparent when you consider that it makes no sense to develop procedures to support an illegal policy. While experienced HR managers under- stand that the manner in which a policy is implemented can be flawed, a policy that is already flawed or illegal from the outset simply should not be implemented.
In most cases, a legal review of a policy proposed by experienced managers will not indicate that the proposed policy is illegal. Rather, the legal review will more likely indicate potentially troublesome procedural areas to which HR managers should pay close attention.
To see how a legal policy, improperly applied, could create difficulties, and as a result, to illustrate the importance of a thorough legal review, consider the case of Latisha. She is a foodservice director for a local hospital. Latisha ’ s operation prepares and serves more than 500 meals per day. Despite some managers ’ thoughts to the contrary, Latisha knows that the law allows her much discretion in setting appearance standards for her staff, and she wishes to do so by creating and implementing a department - wide dress code.
In nearly all cases, hospitality managers such as Latisha can (and often do) legally impose rules and guidelines that have a basis in social norms, such as those prohibiting visible tattoos, body piercings, or earrings for men. While tattoos and
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piercings may be examples of employee self - expression, they generally are not rec- ognized as signs of religious or racial expression (and thus are not typically protected under federal discrimination laws). For example, in Cloutier v. Costco Wholesale Corp ., 390 F.3d 126 (1st Cir. 2004), the First Circuit Court considered whether an employer was required to exempt a cashier from its dress code policy prohibiting facial jewelry (except earrings) and allow her to wear facial piercings as a reasonable religious accommodation. The employee claimed that her religious practice as a member of the Church of Body Modification required she wear the piercings uncovered at all times.
This court accepted that the cashier was protected by Title VII of the Civil Rights Act, without specifically discussing the sincerity of her beliefs, and only ruled on whether her requested exemption from the dress code would impose an undue hardship on the employer. The court found that exempting the employee from the policy would in fact create an undue hardship for the employer because it would “ adversely affect the employer ’ s public image, ” and the employer had a legitimate business interest in cultivating a professional image. The employee ’ s case was dismissed. Certainly, hospitality employers such as Latisha have the same legitimate business interest.
In most cases, a carefully drafted dress code that is applied consistently should not violate discrimination laws. Despite the wide latitude given to hospitality and tourism employers, it is possible that all or part of an implemented dress code can be found to be discriminatory. It is not uncommon for hospitality employees to challenge even well - designed dress codes on the basis of purported discrimination related to their sex, race, or religion.
Sex discrimination claims typically are not successful unless the dress pol- icy has no basis in social customs, differentiates markedly between men and women, or imposes a burden on women that is not imposed on men. Thus, for example, a policy that requires female managers to wear uniforms while male managers are allowed to wear “ professional attire, ” such as their choice of suit and tie, is likely discriminatory. However, dress requirements that reflect cur- rent social norms generally are upheld, even when they affect only one sex. For example, in a decision by the Eleventh Circuit Court of Appeals in Harper v.
Blockbuster Entertainment Corp. , 139 F.3d 1385 (11th Cir. 1998), the court upheld an employer ’ s policy that required only male employees to cut their long hair.
In most cases, race discrimination claims would be difficult for an employee to prove because the employee must show that the employer ’ s dress code has a disparate (and unfair) impact on a protected class of employees.
One limited area where race claims have had some success is in challenges to “ no beard ” policies. A few courts have determined that a policy that requires all male employees to be clean - shaven may discriminate if it does not accom- modate individuals with pseudofolliculitis barbae (PFB), a skin condition aggravated by shaving that occurs almost exclusively among African - American males.
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Review for Legal Compliance 79
Employees have had the most success challenging dress codes on the basis that they violate religious discrimination laws. These charges occur most frequently when an employer is unwilling to allow an employee ’ s religious dress or appearance. For example, a policy may be discriminatory if it does not accom- modate an employee ’ s religious need to cover his head or wear a beard. However, if an employer can show that the accommodation would be an undue hardship, such as if the employee ’ s dress or grooming created a safety concern, it would not likely be required to vary to its policy. Interestingly, dress code claims also may be filed under the National Labor Relations Act (NLRA). For example, to comply with the NLRA, employers, even in nonunion workplaces, generally may not ban the wearing of union insignia.
As you have now learned, even in an area such as dress codes — where employers such as Latisha have wide latitude to manage their businesses as they see fit — the potential for legal difficulties can still exist. Virtually any of the areas in which policies and procedures are developed may be the source of litigation, but managers must be most careful in the areas related to the control of employee dress, expression of opinion, and behavior away from the worksite. As a result, experienced HR managers know that, in nearly all cases, a periodic legal review of an organization ’ s overall policy and procedures manual, as well as a specific review each time it is significantly modified or revised, is a wise use of organiza- tional resources.
A careful review for legal compli- ance is a critical step in the HR policy develop- ment process.
Courtesy Purestock
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Applying Advanced Technology to HR Policies and Procedures
4. Recognize and appreciate the role advanced technology is currently playing, and will continue to play, in the process of HR - related policy and procedure development.
Some managers in the hospitality industry view the application of technology to operational issues as a problem, rather than an opportunity. It is true that the technological systems used in restaurants, bars, clubs, hotels, and other hospitality operations are far more advanced and complicated today than those available only a short time ago, and these systems continue to advance rapidly. Rather than view- ing technology applications as conveying impersonal, cost - savings - only attributes, THE EMERGING BLOGOSPHERE
W
eb logs, or “blogs,” have become extremely popular in recent years, especially in the case of younger workers. In fact, blogging is so popular that it is esti- mated more than 1 million new blog postings are added to the Internet every day.Most of these are of a personal nature, but some, inevitably, have to do with the blogger’s work. Just as inevitably, in some cases, the comments workers make about their workplace or their managers are, to put it gently, less than complimentary. It would be tempting for managers who become aware of derogatory blogs to seek to punish those workers who wrote them (especially if the posted statements are unfair or one-sided), but these managers need to tread very carefully.
As a result of “lawful conduct” statutes employees generally have rights to engage in lawful activities during nonwork hours. Blogging certainly is not illegal. Also, the NLRA grants employees rights that include those related to criticism of their compa- nies and their managers. Furthermore, the NLRA generally protects from retaliation measures those workers who (even publicly) are critical of management.
It is just as important to note, however, that not all work-related speech is pro- tected by the NLRA or laws related to free speech. Reckless or malicious lies, disclosure of confidential company information, and threatening and harassing statements are not typically protected forms of free speech.
Savvy HR managers will carefully watch the emerging blogosphere. If they elect to develop policies regulating blogging, they will also understand that they must carefully navigate the sometimes very fine line between their companies’ rights and the rights of their employees.
Human Resources Management:
CURRENT EVENTS 3.2
1
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Applying Advanced Technology to HR Policies and Procedures 81
HR managers will find that advances in technology have made it easier than ever to do their jobs.
In most cases, two extremely important functions of HR and, as a result, two areas where HR - related technology can be effectively utilized include information dissemination and information storage.
INFORMATION DISSEMINATION
Consider the challenges and opportunities facing the management team of a ski resort that elects to implement a new HR policy about the specific procedures to request time off under the Family Medical Leave Act (FMLA, see Chapter 2 ). For the managers involved in this policy and procedure development process, one major hurdle they must overcome relates to informing the proper individuals about the new policy and any new procedures associated with it. In the recent past, the managers would have had limited options for disseminating the new information and, just as important, their options for documenting that dissemi- nation would have been limited as well. As a result, changes in policies and pro- cedures were typically accompanied by a hard copy document detailing the new policy and procedures. This hard copy would typically be distributed, signed by employees, and then a copy of the document with the confirming signature would be placed in the employee ’ s personal file . In other cases, the information might be added to an existing employee handbook (or employee manual ), which, after management had updated all of the affected sections, would be redistributed to employees.
It is important for managers to understand that the courts will generally allow employers wide latitude to enforce a variety of job - related policies and procedures.
In most cases, however, those employers must first conclusively show that their employees were, in fact, informed about the policies and procedures. Therefore, documenting an employee ’ s actual receipt of important policy and procedure information is imperative.
In many hospitality operations, the initial dissemination of and documenta- tion that essential employment policies and procedures were received occurs when employees are hired and given an updated copy of the employee handbook. Docu- mentation most often involves placing, in the employee ’ s personal file, a signed document (or photocopy) with the employee ’ s signature stating he or she did receive a copy of the manual. Figure 3.5 is an example of a document that can be utilized to verify employee receipt of an operation ’ s employee handbook and its important policies and procedures.
Increasingly, because of advances in communications technology, the options available for information dissemination are much greater. HR managers can select from a wide variety of communication devices and approaches both for the initial dissemination of important policies and procedures information and for their later modification, additions, and deletions. Returning to the example of the ski resort managers seeking to implement new procedures for requesting time off
Hard copy: The common term for a document that has been printed on paper.
Personal file: A record of information about a single employee’s employment.
Typically, this file includes information about the employee’s personal status, application, performance evaluations, and disciplinary warnings.
Also known as a personnel file.
Employee handbook: A permanent reference guide for employers and employees that contains information about a company, its goals, and its current employment policies and procedures. Also often referred to as the employee manual.
Employee manual: Same as employee handbook.
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under the FMLA, Figure 3.6 summarizes some of the more popular information - related options available to these managers.
It is important to recognize that many employees in the hospitality industry have neither the language skills nor the computer skills and access required to take advantage of some of the communication options available today. Enlightened managers know that, ultimately, it is their responsibility, not that of their employ- ees, to ensure and document that required policy and procedure information has been provided to those who need it.
INFORMATION STORAGE
In addition to expanding the number of information dissemination options avail- able to managers, advances in technology have increased the number of available information storage options.
FIGURE 3.5: Sample Employee Handbook Signature Page Acknowledgment of Receipt of Employee Handbook
The Employee Handbook contains important information about (insert company name _______).
I understand that I should ask my supervisor, manager, or the HR administrator about any questions I have that have not been answered in the handbook. I have entered into my employment relationship with the company voluntarily, and understand that there is no specified length of my employment. Either the Company or I can terminate the relationship at will, at any time, with or without cause, and with or without advance notice.
Because the information, policies, procedures, and benefits described in this manual are subject to change at any time, I acknowledge that revisions to the handbook may occur. All such changes will be communicated through an official notice, and I understand that revised
information may add to, modify, or eliminate the company’s existing policies.
Also, I understand that this handbook is neither a contract of employment nor a legally binding agreement. I have been given the time needed to read the handbook, and I agree to accept the terms in it. I also understand that it is my responsibility to comply with the policies contained in this handbook and any revisions made to it.
I understand that I am expected to read the entire handbook. After I have done so, I will sign two original copies of this Acknowledgment of Receipt, retain one copy for myself, and return one copy to the company’s representative listed below. I understand that this form will be retained in my personal file.
Signature of Employee Date
Employee’s Name (Printed)
Company Representative Date
Information storage: The processes, equipment, and documents that make up a company’s records retention effort.
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Applying Advanced Technology to HR Policies and Procedures 83
In the fairly recent past, most HR - related records in the hospitality and tourism industry simply consisted of hard - copy (paper) files stored in the appropriate employee personal file, or in a file developed specifically for recordkeeping purposes.
Thus, for example, information related to employees ’ requests for time off or paid vacation might be kept in the individual employee ’ s file, or in files designed to track and record these types of employee requests. Obviously, in very large hospitality operations, with hundreds of employees, such a paper - based system could easily become unwieldy and cumbersome. Increasingly, even smaller restaurants, hotels, clubs, and other operations find that management of today ’ s HR - related records and information requires the application of advanced technology hardware and software, partly because of the increases in recordkeeping requirements, as well as the chal- lenges of maintaining accessibility (and security) of HR - related information.
Many HR managers actually find that information storage is one of their greatest challenges. To understand why this is so, consider the following areas for which data storage is of significant concern:
Employment applications R é sum é s
FIGURE 3.6: Manager’s Policy and Procedure Initial Dissemination and Documentation Options Communication
Device Dissemination Characteristics
Documentation Characteristics
E-mail with attachment Fast, inexpensive Recipients can be asked to confirm e-mail receipt prior to opening
Web site posting Permanent accessibility, but Web site modifications may be costly
Employees may be asked to sign in via an individually issued code prior to gaining access to protected Web site areas CD Less expensive, in many cases,
than producing traditional hard-copy employee manuals
Employees may be asked to verify, via their signature (on paper copy or electronically), receipt of the CD
Toll-free number:
telephone voice recording
Employees may access information via a numerically initiated options menu.
Recordings may be made available in multiple languages.
Employees may be asked to verify, via their signature, receipt of the toll-free number allowing their access to the policy and procedure information Electronic news
posting/blog
Inexpensive and instantaneous updates
Employees may be asked to verify, via their signature, receipt of the address of the site/blog
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Performance evaluations Disciplinary records Medical files
Insurance - related records and correspondence Training records and documentation
Certificates, transcripts, diplomas Military records
Governmental entity inquiry records Lawsuit - related information
Other employee or employment - related correspondence
Hospitality managers who are responsible for designing effective recordkeeping systems also face a conflicting challenge. Stored records must be easily available for viewing, but they also must be kept secure and inaccessible to viewers who would compromise the confidentiality of the records. Fortunately, although the recordkeeping
Human Resources MANAGEMENT ISSUES (3.2)
“B
ut that’s nearly impossible!” said Trisha Sangus, general manager of the Plaza Intercontinental Hotel, the 750-room convention hotel located in the heart of downtown and adjacent to the city’s convention center. “How can we do that?”“I don’t know, but that’s what the e-mail from corporate says,” replied Pam Cummings, director of human resources.
“So let me see if I get this straight,” said Trisha. “We have to certify, in writing, that each of our employees has received, and understands, the information in our corporate employee handbook.”
“That’s right,” said Pamela. “I’ve had my staff do some checking. With our cur- rent 430 employees, we would need a total of about 16 translations. You know, Russian, Portuguese, Korean, Polish, Croatian, and others. Plus Spanish, but corporate already has that translation, so I guess we really only need 15 more.”
QUESTIONS
1. Do you believe it is the right of all employees to receive a copy of their work- related policies and procedures rules written in their native language?
2. What, if any, accommodation do you believe should be made for those employees who are not capable of reading any language?
3. What specific advice might you give Trisha and Pamela as they seek to comply with this directive from their corporate HR office?
3
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Applying Advanced Technology to HR Policies and Procedures 85
requirements facing HR managers are greater than ever, the tools available to HR managers also provide greater options.
In addition to paper documents, HR managers can choose from a variety of advanced technology recordkeeping and retrieval systems. These systems often include components such as:
Security features . In many cases, HR managers develop information storage systems that allow for multiple levels of security to protect sensitive docu- ments and files from unauthorized viewers. Each user has a security access level, and each document has a sensitivity level. Depending on the access level granted to the users, they will see only the lists of documents that are appro- priate for their security access level.
Records - specific servers . A server can be readily designed to provide access to important HR - related data. Servers are often dedicated: they perform no other tasks besides their server tasks.
Document archival features . These components allow information or docu- ments to be downloaded to a file server, tape, CD - ROM, DVD - ROM, or DVD - RAM.
High - speed image printing . This component of a recordkeeping and retrieval system is utilized to create hard copy of electronically stored information.
Server: A central computer system that stores docu- ments and informa- tion for input and retrieval.
CD: A compact disc is a device capable of storing digital information. CD-ROM (read-only memory) means that once the data has been recorded onto the CD, it can only be read or played, but not revised.
DVD: Short for digital versatile disc or digital video disc, the DVD is a type of optical disk technol- ogy similar to the CD- ROM. DVD-ROMs are commonly used as a medium for digital representation of movies and other multimedia presentations that combine sound with graphics. DVD-RAM (random access memory) discs can be recorded and erased repeatedly, but are only compatible with devices manufactured by the companies that support the DVD-RAM format.
Continued advances in tech- nology help HR professionals in the hospitality industry address their communica- tion and docu- mentation needs.
Courtesy PhotoDisc, Inc.
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Regardless of the sophistication level of the information storage and retrieval system they develop, HR managers must comply with the documentation and recordkeeping requirements imposed on them by their own companies as well as by governmental entities that mandate and monitor their compliance.
HR Policies and Procedures Documentation and Record Keeping
5. Recognize the most significant reasons why HR managers must develop, implement, and maintain effective HR recordkeeping systems.
Regardless of the level of technology they apply to the process, all HR managers must follow specific laws and regulations that address employment - related documentation and recordkeeping issues. In addition, businesses often develop some of their own in - house procedures for policy and procedures documentation and record keeping.
As a result, HR managers must make decisions regarding their own record retention policies and procedures. For example, most HR managers agree that it is a good idea to keep a copy of all applications and r é sum é s received when they advertise to fill an employment vacancy. The reasons for retaining these documents are many, but include the ability to monitor the quality of the available workforce, to help ensure that advertisements by the organization appeal to the broadest labor pool possible, and to help judge the workforce demand for the employer ’ s position. Consider, how- ever, the HR manager who must answer the following very specific question:
Are all individuals who submit r é sum é s via the Internet considered applicants for recordkeeping and reporting purposes? If so, how shall these records be stored, and for how long? What if the candidates are clearly unqualified for the position?
Questions such as this may be difficult to address, but HR managers must still do so thoughtfully. Other examples of records - related questions that require policy and procedures decisions include those such as:
How do regulations related to ADA, COBRA, FMLA, FLSA, and OSHA affect the length of time records should be kept? ( Note : Specific record - related require- ments of these agencies are addressed, where applicable, in the pertinent area of this text.)
Should employees have access to their discipline records? Can they make cop- ies? How long should a terminated employee ’ s files be kept?
Which personnel management - related documents should require actual (not electronic) signatures?
Regardless of how questions such as these are answered, HR managers must make significant decisions regarding the employment records that must be retained and the length of time to retain them. In some cases, employment - related legisla- tion will dictate the full or partial answers to questions of this type.
Figure 3.7 lists selected recordkeeping requirements enforced by the U.S.
government. Other requirements may be imposed at the state or local level.
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87
HIRING AND EMPLOYMENT ACTIONS Employee RecordFLSA, EPAFMLAADEAIRCATitle VII, ADAOSHATax Laws Employee name, address, Social Security number, gender, date of birth 3 years from last entry3 years from last entry 3 years from last entry3 years from hire or 1 year after termination 1 year after record created or personnel action taken
1 year after
